SERIES 39
Series 39 is an examination under the Financial Industry Regulatory Authority (FINRA) to become principals at brokers or dealers that market in direct participation programs (DPPs) set up usually as limited partnerships (LPs). Series 39 was made to challenge the knowledge of test takers regarding the structure of DPPs, the ways to manage registered representatives of a broker or dealer, and the FINRA and SEC’s fiduciary requirements. The exam is composed of 95 questions with a passing grade of 70%.
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Direct Marketing
A marketing strategy in which physical materials like catalogs and flyers are provided to consumers to communicate about a product or service&rsquo ...
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Point on a stock chart in which a security and an indicator converges. Technical analysts use this in predicting future movements in the stock pric ...
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An option traded in Chicago Board of Trade that has underlying assets which is comprised ...
Adaptive Price Zone - APZ
A kind of technical indicator that assists the investors in identifying possible turning points in the market. The adaptive price zone (APZ) can be ...
Noncredit Services
Fee-based services that do not involve the extension of credit that a lending institution offers to correspondent banks or corporate customers. Non ...
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